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401(k)s, Private Markets, and the New Reality
exempt securities, private securities, private placement, Reg D, Reg S, Reg A, Reg CF Jay Proffitt 9/11/25 exempt securities, private securities, private placement, Reg D, Reg S, Reg A, Reg CF Jay Proffitt 9/11/25

401(k)s, Private Markets, and the New Reality

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FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications
broker dealer, broker dealer compliance, outsource broker dealer resources, FINRA 2210, capital markets, capital markets compliance, compliance as a service, adviser compliance, archiving communications, communications with the public, electronic communications Jay Proffitt 9/8/25 broker dealer, broker dealer compliance, outsource broker dealer resources, FINRA 2210, capital markets, capital markets compliance, compliance as a service, adviser compliance, archiving communications, communications with the public, electronic communications Jay Proffitt 9/8/25

FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications

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AI Tops RIA Compliance Concerns
broker dealer compliance, outsource compliance, compliance as a service, investment adviser compliance Jay Proffitt 9/3/25 broker dealer compliance, outsource compliance, compliance as a service, investment adviser compliance Jay Proffitt 9/3/25

AI Tops RIA Compliance Concerns

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When “Democratized” Alternatives Go Sideways
alternative investments, capital markets Jay Proffitt 8/28/25 alternative investments, capital markets Jay Proffitt 8/28/25

When “Democratized” Alternatives Go Sideways

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New Jersey Court Expands Enforcement Tools in Securities Fraud Cases
capital markets compliance, internet investment adviser, investment adviser, investment adviser compliance, registered investment adviser Jay Proffitt 6/11/25 capital markets compliance, internet investment adviser, investment adviser, investment adviser compliance, registered investment adviser Jay Proffitt 6/11/25

New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

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What RIAs Should Prioritize in 2025
capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25 capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25

What RIAs Should Prioritize in 2025

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Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers
broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25 broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25

Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers

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Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers
adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25 adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25

Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers

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FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures
broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25 broker dealer, registered investment adviser, capital markets, financial services Jay Proffitt 4/2/25

FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures

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Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks
broker dealer compliance, investment adviser compliance, capital markets compliance, introducing broker compliance, money services business compliance Jay Proffitt 3/31/25 broker dealer compliance, investment adviser compliance, capital markets compliance, introducing broker compliance, money services business compliance Jay Proffitt 3/31/25

Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks

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What’s Next for Crypto ETFs?
cryptocurrency, capital markets, digital assets, crypto Jay Proffitt 3/27/25 cryptocurrency, capital markets, digital assets, crypto Jay Proffitt 3/27/25

What’s Next for Crypto ETFs?

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Crypto Scams and Social Media Schemes Top 2025 Threats
capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25 capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25

Crypto Scams and Social Media Schemes Top 2025 Threats

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